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2223 Avenida De La Playa Suite 210, La Jolla, CA 92307 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CA | RA | APPROVED | 1998-03-13 |
Branch Locations
2223 Avenida De La Playa Ste. 210, La Jolla, CA 92037-3218 • UNITED STATES
2223 Avenida De La Playa Suite 210, La Jolla, CA 92037 • United States
1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Higgins Capital Management, Inc. | La Jolla | CA | 08/1997 | Present |
RAYMOND L. HIGGINS, CEO, AND HAS BEEN AN INVESTMENT ADVISOR SINCE JULY 31, 1996. HE SPENDS ABOUT 20 HOURS/WEEK ON THE IA BUSINESS. MR. HIGGINS IS AN ACCIDENT/HEALTH, LIFE-ONLY AND VARIABLES CONTRACTS AGENT EFFECTIVE OCTOBER 8, 2018. HE SPENDS ABOUT 1 HOUR/WEEK ON THE INSURANCE BUSINESS.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1996-07-31 |
| S63 | Uniform Securities Agent State Law Examination | 1984-04-25 |
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